# Carroll Financial Group

Carroll Financial Group is an Asset Manager based in Charlotte, United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** Charlotte, United States
- **Region:** North America
- **Address:** Charlotte, NC, United States
- **Assets under management:** Undisclosed
- **Website:** carrollfinancial.com

## Regulatory record

- **CRD number:** 139704
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/139704

## About

CARROLL FINANCIAL GROUP, INC. is a state-registered investment adviser with $21 million in regulatory assets under management. The firm has 1 employee and 1 investment adviser. It operates with a small team.

## Sectors

- Financial Services
- Wealth Management

## People

- James P. Carroll — Founder

## Questions

### Who runs investment decisions at Carroll Financial Group?

James P. Carroll founded the firm and remains its senior principal. Day-to-day portfolio decisions are distributed across a team of financial advisors, each constructing allocations for their own client base using a shared platform of research, model portfolios, and third-party manager due diligence. The firm does not operate a single centralized investment committee for all client accounts.

### Is Carroll Financial Group a fiduciary?

Carroll operates as a dual-registered hybrid. When acting as a registered investment advisor, its advisors are fiduciaries and must place client interests first. When executing brokerage transactions, they operate under Regulation Best Interest. Clients sign separate agreements depending on which hat the advisor wears for a given service.

### What is the firm's geographic footprint?

The firm is headquartered in Charlotte, North Carolina, and its client base concentrates in the Southeast — primarily North Carolina, South Carolina, and Tennessee. It does not maintain additional branch offices. Remote servicing capabilities expanded during the pandemic but the relationship model remains largely in-person for local families.

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Last updated: 2026-06-03T20:00:00.000Z

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